Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mccallum (Mccallum), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccallum recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $378,000.00 on November 25, 2025.

Customers allege recommended unsuitable investments in Medley Capital Corporation that between 2015 and 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Smith (Smith), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on December 16, 2025.

Customer alleges that two interval funds purchased in 2022 were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Naegle (Naegle), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Naegle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,000,000.00 on December 16, 2025.

Customer alleges that the representative took investments for his own use and converted them to property owned by him.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Fleming (Fleming), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fleming recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on December 15, 2025.

Claimants allege unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tunink recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $75,000.00 on January 08, 2026.

Advisor borrowed funds from customer for investment opportunity away from the Firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Sileo (Sileo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sileo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on July 08, 2021.

Unsuitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lyndon Grey (Grey), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,001.00 on July 06, 2021.

Unsuitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Jones (Jones), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $120,000.00 on July 13, 2021.

Claimant alleges unsuitable REIT investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Angelis (Angelis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Angelis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $350,000.00 on July 15, 2021.

April 2019-2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Knudsen (Knudsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knudsen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on July 20, 2021.

CUSTOMER ALLEGES UNSUITABLE RECOMMENDATION OF MUNICIPAL BOND. ACTIVITY PERIOD – 12/19/18 TO 1/8/20.

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295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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